Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
licensed to undertake securities business in the category of securities finance business, mutual fund management, securities brokerage, investment advisory service, securities dealing or securities
Category of Securities Finance By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), in conjunction with Clause 4 of the Ministerial Regulation No. 7 (B.E. 1996) issued under the
paragraph of clause 5 of the Notification of the Ministry of Finance, the Office hereby prescribes the factors in considering the seriousness of behavior as prohibited characteristics of persons who are or
Derivatives Act B.E. 2546 (2003) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ securities ” means the securities by definition given under
securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial
force from 16 April 2002. Notified this 28th day of March 2002. - Signature - (Mr. Somkid Jatusripituk) Minister of Finance Chairman of the Securities and Exchange Commission Published in the Government
the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person who undertakes, for itself, in offering for sale or purchase of
consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued by finance company or
for inspection by the SEC Office. Division 3 Additional Rules for Securities Intermediaries in the Category of Securities Finance ___________________ Clause 13 In engaging in proprietary trading through